| A74 | PORTFOLIO STRATEGIES INC CRD 104685 | WA | $50.2M | 3 | Charles Schwab→ |
| A73 | WHALEN CAPITAL, INC. CRD 130016 | WI | $75.1M | 8 | E*Trade→ |
| A71 | INTERCAROLINA FINANCIAL SERVICES, INC. CRD 19475 | NC | $85.4M | 31 | E*Trade→ |
| B65 | VN CAPITAL MANAGEMENT, LLC CRD 166761 | NC | $63.0M | — | Pershing→ |
| B60 | BRUESKE ADVISORY SERVICES, LLC CRD 300689 | WA | $35.8M | 4 | E*Trade→ |
| B57 | P3 ASSET MANAGEMENT, LLC CRD 327327 | WA | $40.3M | — | E*Trade→ |
| B53 | BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY II, LLC CRD 292786 | WI | $81.7M | — | E*Trade→ |
| B53 | VARIANT PERCEPTION, LLC CRD 334510 | NC | $31.9M | 1 | E*Trade→ |
| B52 | BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC CRD 326646 | WI | $83.7M | — | E*Trade→ |
| C46 | SIMS CAPITAL MANAGEMENT LLC CRD 129398 | WI | $56.4M | 1 | Charles Schwab→ |
| C46 | MCKINNEY CAPITAL, LLC CRD 315545 | AL | $91.0M | — | E*Trade→ |
| C44 | ANTHONY CAPITAL MANAGEMENT, LLC CRD 312256 | WI | $37.9M | — | E*Trade→ |
| C40 | OBP CAPITAL LLC CRD 167619 | NC | $78.5M | — | E*Trade→ |
| C39 | ONEASCENT CAPITAL LLC CRD 323220 | AL | $55.6M | 2 | E*Trade→ |
| C34 | AMERICAN NORTHWEST ADVISORY SERVICES L.L.C. CRD 110117 | WA | $41.3M | 5 | E*Trade→ |
| C32 | VITA PLANNING GROUP LLC CRD 312323 | WA | $83.7M | 3 | Charles Schwab→ |
| C29 | SLP WEALTH LLC CRD 325631 | NC | $63.7M | 15 | Altruist→ |
